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Broker compliance certificates under ASIC microscope

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Australian Broker | 14 Nov 2012, 06:30 AM Agree 0
Brokers will need to be extra careful when filling out their Annual Compliance Certificates this year, after confirmation that the regulator is scrutinising broker responses carefully
  • Daniel Blaine | 14 Nov 2012, 10:47 AM Agree 0
    A gross misdirection of resource. ASIC is merely a policy and procedures organisation. It has proven ineffective in addressing risky behaviour by organisations. If the forms are correctly completed ASIC is satisfied. A major impost on over 95% of brokers and planners.
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